CWR Thematic Oversight Analyst

Join us as a CWR Thematic Oversight Analyst at Barclays, where you'll spearhead the evolution of our digital landscape, driving innovation and excellence. You'll harness cutting-edge technology to revolutionise our digital offerings, ensuring unapparelled customer experiences.

You may be assessed on the key critical skills relevant for success in role, such as experience with thematic oversight team, as well as job-specific skillsets.

To be successful as a CWR Thematic Oversight Analyst, you should have experience with:

•Support the implementation of changes being made to Conduct Policies, Standards and associated Business Procedures.

•Handle queries related to Conduct matters from stakeholders across Compliance, Functional Partners and the 1st line, using appropriate escalation points when required.

•Build out and publish Conduct FAQs learned through query handling, providing stakeholders with the ability to effectively self-serve.

•Detail requirements for Conduct element of the Compliance Chatbot, mapping colleague intents to FAQs and other resources.

•Support with the improvements being made to Conduct data & MI, partnering with the Compliance Data Analytics team.

Basic/ Essential Qualifications:

•Experience working in Compliance or another department where risk oversight is applied (e.g. Risk & Controls / Operational Rigour / Supervision, Chief Controls Office, Risk, Internal Audit).

•Strong written skills – of particular importance for the building of FAQs, Chatbot requirements, query handling and input into various presentations and governance documentation.

•Service mindset – ability to handle inbound queries and communicate well with a wide range of stakeholders, including senior peers and the 1st line.

•Data Analytics – Comfort with interpreting large and complex data sets and derive meaningful Management Information (MI) through building reports & dashboards.

Desirable skillsets/ good to have:

• The candidate will ideally have a degree level education and strong academic track record. 

• Experience working in Compliance or another department where risk oversight is applied (e.g. Risk & Controls / Operational Rigour / Supervision, Chief Controls Office, Risk, Internal Audit) 

• Knowledge of Conduct topics – business communications, conflicts of interest, Market Abuse, MNPI & Information Barriers, Surveillance, Issuances  

• Good understanding of financial services & banking 

• Professional qualifications, certifications and/or registrations relevant to Compliance. 

This role will be based out of Pune.

Purpose of the role

To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in a compliance with Barclays legal, regulatory and ethical responsibilities. 

Accountabilities

• Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems to.
• Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct.
• Conduct investigation of compliance risk events or breaches. Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences.
• Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank’s internal policies are aligned with international standards, including jurisdictional requirements.
• Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management.
• Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime.

Analyst Expectations

• To perform prescribed activities in a timely manner and to a high standard consistently driving continuous improvement.
• Requires in-depth technical knowledge and experience in their assigned area of expertise
• Thorough understanding of the underlying principles and concepts within the area of expertise
• They lead and supervise a team, guiding and supporting professional development, allocating work requirements and coordinating team resources.
• If the position has leadership responsibilities, People Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L – Listen and be authentic, E – Energise and inspire, A – Align across the enterprise, D – Develop others.
• OR for an individual contributor, they develop technical expertise in work area, acting as an advisor where appropriate.
• Will have an impact on the work of related teams within the area.
• Partner with other functions and business areas.
• Takes responsibility for end results of a team’s operational processing and activities.
• Escalate breaches of policies / procedure appropriately.
• Take responsibility for embedding new policies/ procedures adopted due to risk mitigation.
• Advise and influence decision making within own area of expertise.
• Take ownership for managing risk and strengthening controls in relation to the work you own or contribute to. Deliver your work and areas of responsibility in line with relevant rules, regulation and codes of conduct.
• Maintain and continually build an understanding of how own sub-function integrates with function, alongside knowledge of the organisations products, services and processes within the function.
• Demonstrate understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.
• Make evaluative judgements based on the analysis of factual information, paying attention to detail.
• Resolve problems by identifying and selecting solutions through the application of acquired technical experience and will be guided by precedents.
• Guide and persuade team members and communicate complex / sensitive information.
• Act as contact point for stakeholders outside of the immediate function, while building a network of contacts outside team and external to the organisation.

All colleagues will be expected to demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship – our moral compass, helping us do what we believe is right. They will also be expected to demonstrate the Barclays Mindset – to Empower, Challenge and Drive – the operating manual for how we behave.